[Federal Register Volume 88, Number 177 (Thursday, September 14, 2023)]
[Notices]
[Pages 63134-63137]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-19926]


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OFFICE OF PERSONNEL MANAGEMENT

[Docket ID: OPM-2023-0033]


Privacy Act of 1974; System of Records

AGENCY: Office of Personnel Management.

ACTION: Notice of a new system of records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, the Office of Personnel Management (OPM) proposes to establish a 
new government-wide system of records titled ``OPM/GOVT-11 Federal Fair 
Chance Act Complaint Records.''

DATES: Submit comments on or before October 16, 2023. This new system 
is effective upon publication in the Federal Register, except for the 
routine uses, which are effective October 19, 2023.

ADDRESSES: You may submit written comments through the:
     Federal Rulemaking Portal: https://www.regulations.gov.
    All submissions received must include the agency name and docket 
number for this Federal Register document. The general policy for 
comments and other submissions from members of the public is to make 
these submissions available for public viewing on the internet at 
https://www.regulations.gov as they are

[[Page 63135]]

received without change, including any personal identifiers or contact 
information.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Timothy Curry, Deputy Associate Director, Employee Services, 
Accountability and Workforce Relations, Office of Personnel Management, 
at (202) 606-2930 or [email protected]. For privacy 
questions, please contact: Marc Flaster, Acting Senior Agency Official 
for Privacy, Office of Personnel Management, at (202) 606-2115 or 
[email protected].

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974, 
5 U.S.C. 552a, OPM proposes to establish a new system of records titled 
``OPM/GOVT-11 Federal Fair Chance Act Complaint Records.'' This system 
of records will enable Federal agencies to collect and maintain 
complaint records pertaining to the Fair Chance to Compete for Jobs Act 
of 2019 or the Fair Chance Act, 5 U.S.C. 9201-9206 (``FCA'' or ``the 
Act'').
    The FCA limits the circumstances in which agencies may request 
criminal history information from an applicant prior to extending a 
conditional offer of employment. In addition, the FCA requires OPM to 
establish a complaint process by which applicants for appointment to a 
position in the civil service may submit a complaint, or any other 
information, relating to compliance with the requirements of the Act. 
Furthermore, the Act establishes requirements and procedures regarding 
penalties for violations.
    The FCA directs OPM to establish and publish procedures under which 
an applicant for an appointment to a position in the civil service may 
submit a complaint, or any other information, relating to compliance by 
an employee of an agency with 5 U.S.C. 9202. The complaint, or any 
other information, is submitted to and maintained by the employing 
agency until such time as the complaint is referred to OPM or OPM 
requests the records.
    The records in this system of records include the applicant's 
complaint or any other information submitted by the applicant and the 
agency's investigative report, which includes the agency's factual 
findings; a complete copy of all information gathered during the 
investigation, including documentary and testimonial evidence; any 
other information the agency believes OPM should consider; and any 
additional information OPM requests the agency provide. In addition, 
the records include OPM's written notification to the agency and the 
subject(s) of the complaint regarding OPM's assessment of the 
complaint, including whether to dismiss the complaint or that a 
violation may have occurred such that OPM is initiating adverse action 
proceedings under 5 CFR part 754, subpart B.
    This proposed Government-wide system of records will include the 
complaint records in the custody and control of the agencies as well as 
those with OPM. OPM has provided a report of this system of records to 
the Committee on Oversight and Government Reform of the House of 
Representatives, the Committee on Homeland Security and Governmental 
Affairs of the Senate, and the Office of Management and Budget (OMB), 
pursuant to 5 U.S.C. 552a(r) and OMB Circular A-108, ``Federal Agency 
Responsibilities for Review, Reporting, and Publication under the 
Privacy Act,'' dated December 23, 2016. This system of records will be 
included in the OPM's inventory of records systems.

    Dated: September 11, 2023.
Kayyonne Marston,
Federal Register Liaison.

SYSTEM NAME AND NUMBER:
    Office of Personnel Management, OPM/Government-wide-11 Federal Fair 
Chance Act Complaint Records.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Employee Services, Accountability and Workforce Relations, Office 
of Personnel Management, and other Federal agencies are responsible for 
the records in this system of records. Records in OPM's custody are 
maintained at 1900 E Street NW, Washington, DC 20415. Other Federal 
agencies that receive Fair Chance Act complaints, or any other 
information, maintain records at their headquarters and field offices.

SYSTEM MANAGER(S):
    Deputy Associate Director, Employee Services, Accountability and 
Workforce Relations, Office of Personnel Management, 1900 E Street NW, 
Washington, DC 20415.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Fair Chance to Compete for Jobs Act of 2019; 5 U.S.C. 9202; 5 
CFR 754.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system of records is to permit OPM and other 
Federal agencies to collect and maintain records to administer the 
provisions of the Fair Chance Act (FCA) regarding complaints, or any 
other information, for alleged violations of the FCA. This includes 
conducting all activities related to complaints, or any other 
information, receipt, investigation, adjudication, and, where 
applicable, appeal of the final decision.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals covered by this system of records are:
     Applicants for Federal civil service positions, other than 
positions excepted under 5 CFR 920.201(b), in a covered agency defined 
in 5 U.S.C. 105; and
     Agency employees who violate or have been alleged to have 
violated the Fair Chance Act.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records maintained in this system are:
     Full name;
     Phone numbers;
     Email addresses;
     Mailing addresses; and
     The applicant's complaint, or any other information 
provided;
     Any information provided by the applicant in support of 
the complaint;
     Documentation of the applicant's authorized 
representative;
     Information from current and potential parties and 
participants about the complaint and complaint process;
     Any records OPM creates when another agency refers a 
complaint to OPM;
     Correspondence or documentation issued by the t employing 
Federal agency; and
     Any other information related to the complaint and the 
complaint process, including OPM's processing of the complaint through 
the adjudication and any appeal.

RECORD SOURCE CATEGORIES:
    Information contained in this system may be obtained from:
    a. The applicant to whom the records pertain.
    b. Supervisors, managers, and other agency officials.
    c. Federal employees (non-applicants) and others who provide 
information regarding the complaint.
    d. Investigators.
    e. The individual applicant/complainant's authorized 
representative.
    f. The employing Federal agency that received the complaint.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    The records in this system of records are records of OPM and should 
be

[[Page 63136]]

provided to those OPM employees who have an official need or use for 
those records. Therefore, if an employing agency is asked by an OPM 
employee to access the records within this system, such a request 
should be honored.
    In addition to disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed as a routine use 
pursuant to 5 U.S.C. 552a(b)(3), as follows:
    a. To the Department of Justice, including Offices of the U.S. 
Attorneys; another Federal agency conducting litigation or in 
proceedings before any court, adjudicative, or administrative body; 
another party in litigation before a court, adjudicative, or 
administrative body; or to a court, adjudicative, or administrative 
body. Such disclosure is permitted only when it is relevant and 
necessary to the litigation or proceeding, and one of the following is 
a party to the litigation or has an interest in such litigation:
    (1) OPM, the employing Federal agency, or any component thereof;
    (2) Any employee or former employee of OPM or the employing Federal 
agency in their official capacity;
    (3) Any employee or former employee of OPM or the employing Federal 
agency in their individual capacity where the Department of Justice or 
another Federal agency has agreed to represent the employee;
    (4) The United States, a Federal agency, or another party in 
litigation before a court, adjudicative, or administrative body, 
pursuant to 5 CFR part 295 or otherwise.
    b. To the appropriate Federal, State, or local agency responsible 
for investigating, prosecuting, enforcing, or implementing a statute, 
rule, regulation, or order, when a record, either on its face or in 
conjunction with other information, indicates or is relevant to a 
violation or potential violation of civil or criminal law or 
regulation.
    c. To a member of Congress from the record of an individual in 
response to an inquiry made at the request of the individual to whom 
the record pertains.
    d. To the National Archives and Records Administration (NARA) for 
records management inspections being conducted under the authority of 
44 U.S.C. 2904 and 2906.
    e. To appropriate agencies, entities, and persons when (1) OPM or 
the employing Federal agency suspects or has confirmed that there has 
been a breach of the system of records; (2) OPM or the employing 
Federal agency has determined that, as a result of the suspected or 
confirmed breach, there is a risk of harm to individuals, OPM or the 
employing Federal agency (including its information systems, programs, 
and operations), the Federal Government, or national security; and (3) 
the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with efforts to respond to 
the suspected or confirmed breach or to prevent, minimize, or remedy 
such harm.
    f. To another Federal agency or Federal entity, when OPM or the 
employing Federal agency determines that information from this system 
of records is reasonably necessary to assist the recipient agency or 
entity in (1) responding to a suspected or confirmed breach or (2) 
preventing, minimizing, or remedying the risk of harm to individuals, 
the recipient agency or entity (including its information systems, 
programs, and operations), the Federal Government, or national 
security, resulting from a suspected or confirmed breach.
    g. To contractors, experts, consultants, or volunteers performing 
or working on a contract or other assignment for OPM or the employing 
Federal agency when OPM or the employing Federal agency determines that 
it is necessary to accomplish an agency function related to this system 
of records. Individuals provided information under this routine use 
will have proper clearance, act on behalf of the relevant federal 
agency and understand the need to protect Privacy Act information.
    h. To the Merit Systems Protection Board or the Office of the 
Special Counsel, the Federal Labor Relations Authority and its General 
Counsel, the Equal Employment Opportunity Commission, arbitrators, and 
hearing examiners to the extent necessary to carry out their authorized 
duties.
    i. To any source, including but not limited to a former employee or 
Federal agency, from which information is requested in the course of 
reviewing, investigating, and responding to a complaint, to the extent 
necessary to identify the individual, inform the source of the nature 
of the complaint, and to identify the type of information being 
requested.
    j. To the employing Federal agency and the employee who was the 
subject of the complaint, by OPM, to provide information to the 
employing agency concerning OPM's review and OPM's assessment regarding 
the complaint, including any decision to initiate adverse action 
proceedings or to dismiss the complaint.
    k. To the Office of Government Information Services (OGIS), NARA, 
to the extent necessary to fulfill its responsibilities in 5 U.S.C. 
552(h) to review administrative policies, procedures, and compliance 
with the FOIA, and to facilitate OGIS' offering of mediation services 
to resolve disputes between persons making FOIA requests and 
administrative agencies.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    The records in this system of records are stored electronically on 
OPM or Federal agency or cloud servers or on paper in locked file 
cabinets or locked offices with access restricted to those who have a 
need to know.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by the name or by any other personal 
identifier, or combination of identifiers, contained in this system of 
records.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    The records in this system of records are subject to General Record 
Schedule 2.3, Item 060, which requires that they be destroyed no sooner 
than 4 years but no later than 7 years after the case is closed or 
there is a final settlement on appeal, as appropriate. Agencies must 
select one fixed retention period, between 4 and 7 years, for all 
administrative grievance, adverse action, and performance-based action 
case files. Agencies may not use different retention periods for 
individual cases.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records in this system are protected from unauthorized access and 
misuse through various administrative, technical, and physical security 
measures. OPM and the other Federal agencies who maintain custody and 
control of records in this system of records are required to maintain 
security measures in compliance with the Federal Information Security 
Modernization Act of 2014 (Pub. L. 113-203), associated OMB policies, 
and applicable standards and guidance from the National Institute of 
Standards and Technology. Electronic records are protected by 
restricted access procedures, including passwords and sign-on 
protocols; paper records are in locked file cabinets or locked offices 
with restricted access. Only employees whose official duties require 
access to the electronic or paper records are authorized to view, 
administer, and control these records.

[[Page 63137]]

RECORD ACCESS PROCEDURES:
    Individuals seeking notification of and access to their records in 
this system of records may submit a request in writing to the Office of 
Personnel Management, Office of Privacy and Information Management--
FOIA, 1900 E Street NW, Room 5H25, Washington, DC 20415-7900 or by 
emailing [email protected]; ATTN: Employee Services, Accountability and 
Workforce Relations. OPM may refer notification and access requests to 
the agency named in the complaint. In addition, if the individual is 
seeking notification of and access to records stored at the agency 
named in the complaint, or any other information, relating to a 
violation of 5 U.S.C. 9202, the individual may submit a request to that 
agency in accordance with the agency's FOIA and Privacy Act procedures. 
Individuals must furnish the following information to locate and 
identify the records sought:
    1. Full name.
    2. Email address or mailing address.
    3. Name of the relevant agency named in the complaint.
    4. Signature.
    Individuals requesting access must also comply with OPM's Privacy 
Act regulations on verification of identity and access to records (5 
CFR part 297).

CONTESTING RECORD PROCEDURES:
    Individuals may request that records about them be amended by 
submitting a request in writing to the Office of Personnel Management, 
Office of Privacy and Information Management--FOIA, 1900 E Street NW, 
Room 5H25, Washington, DC 20415-7900 or by emailing [email protected]; ATTN: 
Employee Services, Accountability and Workforce Relations. OPM may 
refer amendment requests to the agency named in the complaint. In 
addition, if the individual is seeking amendment of records stored at 
the agency named in the complaint, the individual may submit a request 
to the agency in accordance with the agency's Privacy Act procedures. 
Individuals must furnish the following information to locate and 
identify the records sought:
    1. Full name.
    2. Email address or mailing address.
    3. Name of the relevant agency named in the complaint.
    4. A precise description of the records for which they are 
requesting amendment and the reason for the amendment.
    5. Signature.
    Individuals must also comply with OPM's Privacy Act regulations on 
verification of identity and access to records (5 CFR part 297).

NOTIFICATION PROCEDURES:
    See ``Record Access Procedures.''

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    None.

[FR Doc. 2023-19926 Filed 9-13-23; 8:45 am]
BILLING CODE 6325-67-P